• Posts by Jennifer R. Trowbridge, Esq.
    Jr. Partner

    Jennifer Trowbridge, Esq. serves as Jr. Partner at Jacko Law Group, PC (“JLG”) where she provides corporate and regulatory counsel to clients with diverse business models and various backgrounds. Within her practice, Ms ...

SEC Proposes a Big Exemption to Assist Small Businesses in Raising Much-Needed Capital

The COVID-19 pandemic has decimated small business at an unprecedented rate and sent the U.S. unemployment rate to its highest level since the Great Depression, reaching a high of 14.7% in April 2020.

Posted in Broker-Dealers
Recent Insider Trading Case at Amazon Offers Useful Reminders for Compliance Departments

Not even the world’s fourth-largest company by market capitalization is immune to the hazards of employee insider trading.

On September 28, 2020, the Securities and Exchange Commission Exchange Commission charged a former senior manager in Amazon.com Inc.’s tax department and two of her family members with insider trading for a scheme that lasted 2 ½ years.

Starting a New Business? Don’t Overlook These Three Essential Considerations

The COVID-19 pandemic has changed the lifestyles of countless Americans. Many have lost jobs or had to shift their focus to home schooling their children. Others have started working from home and have been considering the possibility of opening their own business.

SEC Charges San Antonio CEO with Defrauding Investors Including First-Responders

On July 30, 2020, the Securities and Exchange Commission (“SEC”) announced it was bringing charges against San Antonio-based CEO, Victor Lee Farias, and his firm, Integrity Aviation & Leasing (“IAL”), for defrauding investors, including police officers and other first-responders, out of approximately $14 million.

SEC Releases Last-Minute Updates to Form CRS FAQs

On Friday, June 26, the U.S. Securities and Exchange Commission (“SEC”) released updated responses to FAQs regarding Form CRS. Notwithstanding the timing of the updated FAQs, the additional guidance offers supplementary and expanded information regarding the SEC’s stance on important considerations for the Form CRS including:

ICO To Return $25 Million to Investors

On May 28, 2020, the Securities and Exchange Commission (“SEC”) announced that San Jose-based block chain services firm BitClave PTE Ltd. (“BitClave”) agreed to settle charges related to an unregistered initial coin offering (“ICO”) of digital asset securities.

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